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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Stock Units/Restricted Stock Grant | (7) | 10/29/2007 | I(8) | 291,067.76 | (9) | (9) | Common Stock | 291,067.76 | $ 44 | 372,781.22 (10) | D | ||||
Phantom Stock Units/LTPP | (11) | 10/29/2007 | I(8) | 166,459.773 (12) | (13) | (13) | Common Stock | 166,459.773 | $ 44 | 0 | D | ||||
Phantom Stock Units/Excess Benefit Plan - Common | (11) | 10/29/2007 | I(8) | 105,710.6 (14) | (15) | (15) | Common Stock | 105,710.6 | $ 44 | 0 | D | ||||
Stock Option | $ 13.4325 (16) | 11/20/2004 | 11/20/2012 | Common Stock | 1,050,000 | 1,050,000 (16) | D | ||||||||
Stock Option | $ 17.5167 (17) | 11/19/2005 | 11/19/2013 | Common Stock | 1,200,000 | 1,200,000 (17) | D | ||||||||
Stock Option | $ 20.5633 (18) | 11/17/2006 | 11/17/2014 | Common Stock | 1,200,000 | 1,200,000 (18) | D | ||||||||
Stock Option | $ 22.5617 (20) | 11/16/2007(19) | 11/16/2015 | Common Stock | 1,200,000 | 1,200,000 (20) | D | ||||||||
Stock Option | $ 23.965 (21) | 10/02/2008(19) | 10/02/2016 | Common Stock | 975,000 | 975,000 (21) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BARTH JOHN M 5757 N. GREEN BAY AVENUE P.O. BOX 591 MILWAUKEE, WI 53201 |
X | Chairman |
Arlene D. Gumm, Attorney-in-fact for John M. Barth | 10/30/2007 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in 248,218 additional shares of common stock in the trust of the spouse of the reporting person. |
(2) | Transfer from individual trust to a family community property trust. |
(3) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 252,440 additional shares of common stock in his trust. |
(4) | Reporting person transferred holdings from company stock to other investments in the 401(k) plan to provide diversification pending retirement from the company. |
(5) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in 30,973.6757 additional shares of common stock in the reporting person's 401(k) plan. |
(6) | On October 29, 2007, a Form 144 covering the sale of the shares by Fidelity Management Trust Company for the benefit of the reporting person, was filed with the SEC and NYSE. An error on the report reported a total of 59,361.787 as the number of shares to be sold. The actual shares required to be sold is the 46,481.9377 shares reported on this form. The value of the total 401(k) fund was inadvertently coverted to shares of stock for the Form 144 filing. The reporting person holds other investments in the fund that are not company stock and the other investments represent the difference of $491,917.52 in value, or 12,879.8493 shares which were over reported on the Form 144. |
(7) | Each unit of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Units of vested phantom stock are payable in cash following the reporting person's termination of employment with the company and may be transferred by the reporting person into an alternative investment account at any time. Vesting continues in retirement. |
(8) | Reporting person transferred holdings from company phantom stock units to other investments in the plan to provide diversification pending retirement from the company. |
(9) | The phantom stock units were accrued under the Johnson Controls Restricted Stock Deferral Plan and are to be settled 100% in cash upon the reporting person's termination of employment with the company. |
(10) | Includes 2,840.285 pre-split phantom stock units acquired through the reinvestment of dividends on January 2, March 30, June 29 and October 2, 2007 at prices ranging from $85.88-$119.60 per unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 442,565.983 additional phantom stock units. |
(11) | Each share of phantom stock is the economic equivalent of one share of Johnson Controls common stock. Shares of phantom stock are payable in cash following the reporting person's termination of employment with the company and may be transferred by the reporting person into an alternative investment account at any time. |
(12) | Includes 712.199 pre-split phantom stock units acquired through the reinvestment of dividends on January 2, March 30, June 29 and October 2, 2007 at prices ranging from $85.88-$119.60 per unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 110,973.182 additional phantom stock units. |
(13) | The phantom stock units were accrued under the Johnson Controls Long-Term Performance Plan and are to be settled 100% in cash upon the reporting person's retirement. |
(14) | Includes 452.2817 pre-split phantom stock units acquired through the reinvestment of dividends on January 2, March 30, June 29 and October 2, 2007 at prices ranging from $85.88-$119.60 per unit. On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 70,473.7334 additional phantom stock units. |
(15) | The phantom stock units were accrued under the Johnson Controls Equalization 401 (k) Benefit Plan and are to be settled 100% in cash upon the reporting person's retirement. |
(16) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 700,000 additional options. The option price changed from $40.2975 to $13.4325. |
(17) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 800,000 additional options. The option price changed from $52.55 to $17.5167. |
(18) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 800,000 additional options. The option price changed from $61.69 to $20.5633. |
(19) | Fifty percent of the options become exercisable two years after the grant date; the remaining 50%, three years after grant date. |
(20) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 800,000 additional options. The option price changed from $67.695 to $22.5617. |
(21) | On October 2, 2007, the common stock of Johnson Controls, Inc., split 3-for-1, resulting in the reporting person's ownership of 650,000 additional options. The option price changed from $71.895 to $23.965. |